Florence Bastide
Paris
Summary
Senior Compliance Professional bringing 24 years of experience managing activities, programs and resources to meet customer needs. Flexible and adaptable with superior communication, relationship management and influencing skills. Proven history of identifying issues, acquiring data and drawing conclusions to support resolution. Strong aptitude for leading teams to effectively address client needs and implement changes by supporting strategic initiatives.
Overview
26
26
years of professional experience
Work History
Head of Compliance
Barclays Bank plc
Paris
03.2104 - Current
- Provide support to Barclays Europe heads of Compliance Markets and Investment Bank on any compliance issues arising from local business and affecting multiple products: Corporate Banking; Markets (Fixed Income, Equities, Derivatives, Treasury) regarding distribution and trading of new products and restructuring of existing transactions; and Banking (M&A, capital restructuring, DCM, ECM, Lending) in compliance with applicable regulations (AMF Rules of conduct-and FCA regulations): including the setup of information barriers, wall crossing, conflict of interests and monitoring of insider list
- Advocate a strong compliance culture including regulatory watch, regular communications to employees and review of compliance policies and procedures
- Point of contacts with regulators (ACPR-AMF- and Irish regulatory team for CBI and ECB contacts)
- Provide Classroom trainings to employees
- Prepare regulatory reportings and internal reportings to senior management and to Head Office in Dublin
- Involved in global and local compliance projects
- Supervise controls performed by the team on a monthly basis
- Attend external regulatory meetings and lobbying group meetings (AMAFI).
Senior Compliance Officer
GE Corporate Finance Bank SAS
Paris
10.2008 - 03.2014
- Daily monitoring of any compliance issues in relation with the Leverage Finance Buisness in application of applicable regulations (AMF Rules of conduct-ACP regulations and FED regulations)
- Advocated a strong Compliance culture including regulatory watch, regular communications to employees via Compliance Bulletin and CEO’s newsletter and draft of Compliance policies and procedures
- Provided trainings to employees including Classroom trainings (AML, induction for new joiners) and developed specific online trainings for the bank
- Prepared reportings including regulatory reportings (AML reporting sent to ACPR, AMF annual report), internal reportings to senior management and to GE Capital Headquarters (EMEA-US)
- Involved in local and global Compliance projects: Corporate Governance framework, implementation of the 3rd AML directive in France, leader on the implementation of a GE Capital Control room at EMEA level including the implementation of a new pre-clearance system to monitor insider dealing
- Performed a data privacy leader role and prepared filing with the French data protection authority
- Registered as MLRO (declarant and correspondent TRACFIN) with French regulators, advise and respond to any issues related to account opening, KYC, source of funds and sanction screening
- Prepared annual Compliance planning and risk assessment
- Provided advisory on any Compliance issues related to new products introduction
- Supported the Capital Market department on secondary transactions in relation with LBO primary financing including the monitoring of conflict of interests, and other Compliance related topics (AML/KYC and documentation deferment).
Compliance Officer
UBS Securities France, SA
10.2006 - 10.2008
- Daily monitoring of any compliance issues that could arise in an investment bank in application of the AMF Rules of conduct and other French regulations (Commission Bancaire and Code Monetaire et financier)
- Monitored personal account dealings done by employees
- Provided trainings including induction for new joiners and any Compliance ad hoc trainings delivered to employees
- Monitored transactions to detect market abuse on Fixed Income and Equities markets
- Advised on transactions done by ECM and DCM departments (IPO, M&A, rights issue) including the set up of information barriers, wall crossing, conflicts of interests, monitoring of Restricted List, Watch list and Insider List and also in liaison with the wealth management department to mitigate potential conflicts of interests
- Prepared regulatory reportings including AMF annual report and AML annual report to the Commission Bancaire
- Was in contact with French regulators: AMF/Commission Bancaire and lobbyed with local French banking associations (AFEI, AFG, FBF)
- Registered as French MLRO, advised and responded to any issues related to account opening, KYC, source of funds and any local AML issues
- Involved in Compliance projects: was part of a group that implemented a European regulatory tracking tool throughout the whole investment bank
- Worked closely in coordination with other European offices including wealth management business in order to harmonize all policies in light of the MIFID implementation.
Compliance Officer
BNP Paribas
Paris
01.2002 - 09.2006
- Daily monitoring of any issues regarding the entire Fixed Income department including: Monitored daily Forex transactions (off market prices, historical rollover), IRD and bonds transactions (late trade/false trade/Contributions/Reporting to regulators)
- Supported DCM transactions related to Capital restructuring (bond offering on both primary and secondary marketing) including the setup of information barriers, wall crossing, conflict of interests and monitoring of insider list
- Monitored account openings including approval of new onboarded clients, advised and responded to any issues related to source of funds and sanction screening
- Advised on new products
- Prepared reporting to regulators: AML annual report to the French regulator
- Involved in regulatory investigations: Market abuse- French SVT
- Delivered trainings to employees including induction for new joiners and any Compliance ad hoc trainings.
Junior Compliance Analyst
BNP Paribas
New York
05.2000 - 01.2002
- Participated in daily monitoring of the Watch and the Restricted Lists and information barrier crossing in support of ECM and DCM activities
- Drafted Compliance policies and procedures including the Territory and Securities Compliance Manuals, the BNP Paribas Asset Management Manual and other internal procedures: Off premises trading, loan trading, compliance surveillance project for the broker dealer side
- Delivered ad hoc Compliance trainings to employees.
Intern Corporate Finance department
Thelen Reid & Priest
New York
01.1998 - 07.1998
- Drafted corporate documents (M&A, loan, incorporation and registration of new companies and shareholders agreements)
- Prepared and drafted a contract bid in connection with Madagascar telecommunications privatization project
- Drafted corporate documents for a project regarding the financing and construction of a power station in Morocco.
Education
LL.M - Corporations, Investment Banking, Securities Regulations, International Trade, Mergers and Acquisitions, Public International Law, International Human Rights, Copyrights Law
Fordham Law School
05.1999
D.E.A (masters) - US and UK Business Law, Contracts Laws (US and UK), International Trade, Corporations (US and UK), Constitutional Law (US and UK)
La Sorbonne
06.1997
Maitrise (JD) - Corporate and Civil Law
University of Toulouse, Law School
06.1996
Skills
- French (native speaker)
- English (fluent)
- Spanish (limited)
- Basic computer/Word processing literacy/Excel/PowerPoint
Hobbies and Interests
- Travel
- Fashion
- Independent movies
- US literature
- Running
- Reformed Pilate
Timeline
Head of Compliance
Barclays Bank plc
03.2104 - Current
Senior Compliance Officer
GE Corporate Finance Bank SAS
10.2008 - 03.2014
Compliance Officer
UBS Securities France, SA
10.2006 - 10.2008
Compliance Officer
BNP Paribas
01.2002 - 09.2006
Junior Compliance Analyst
BNP Paribas
05.2000 - 01.2002
Intern Corporate Finance department
Thelen Reid & Priest
01.1998 - 07.1998
LL.M - Corporations, Investment Banking, Securities Regulations, International Trade, Mergers and Acquisitions, Public International Law, International Human Rights, Copyrights Law
Fordham Law School
D.E.A (masters) - US and UK Business Law, Contracts Laws (US and UK), International Trade, Corporations (US and UK), Constitutional Law (US and UK)
La Sorbonne
Maitrise (JD) - Corporate and Civil Law
University of Toulouse, Law School
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